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Bureau of Mines Information Circular/1985 



Rollover Protective Structures (ROPS) 
Inspection and Maintenance Guide 

By Stephen A. Swan, Dennis C. Jones, and Kazimir Niziol 




UNITED STATES DEPARTMENT OF THE INTERIOR 



75 

^(NES 75TH AX^ 



Information Circular 9009 



Rollover Protective Structures (ROPS) 
Inspection and Maintenance Guide 

By Stephen A. Swan, Dennis C. Jones, and Kazimir Niziol 




$ 



UNITED STATES DEPARTMENT OF THE INTERIOR 

Donald Paul Hodel, Secretary 

BUREAU OF MINES 
Robert C. Horton, Director 






1W. 



.q O 0<l 




Library of Congress Cataloging in Publication Data: 



Swan, Stephen A 

Rollover protective structures (ROPS) inspection and maintenance 
guide. 

(Information circular ; 9009) 

Supt. of Docs, no.: I 28.27:9009. 

1. Mining machinery— Safety measures. I. Jones, Dennis C. II. 
Niziol, Kazimir. III. Title. IV. Title: Rollover protective structures 
(ROPS) inspection and maintenance guide. V. Series: Information cir- 
cular (United States. Bureau of Mines) ; 9009. 



XN^5rtWn:TN345] 622s [622'. 8] 



84-600304 



CONTENTS 

Page 



^ 



Abstract 1 

Introduction 2 

Types of machines required to have ROPS and seat belts 3 

ROPS inspection items 3 

Identification or certification label 3 

Mounting parts 4 

Bolts and nuts 4 

Rubber pads and bushings 4 

Overall check for visible damage 6 

Seat belts 7 

Check, for improper repairs and/or modifications 10 

Welds 10 

Unauthorized field modifications 10 

Instructions for using ROPS inspection and maintenance checklist 12 

Summary 12 

ROPS inspection and maintenance checklist 14 

ILLUSTRATIONS 

1 . Combination ROPS and FOPS 2 

2. ROPS over cab 2 

3. Integral ROPS exterior 3 

4. Integral ROPS interior 3 

5. Bolt head markings 4 

6. Nut markings 4 

7. Rubber pad 5 

8. Rubber bushing 6 

9. Weld separation (crack) 7 

10. Crack in ROPS mount 8 

1 1 . Crack in weldment 8 

12. Frayed and dirty seat belt 9 

13. Seat belt anchors 9 

14. Seat belt buckle 10 

15. Unauthorized spot weld 11 

16. Unauthorized mount 12 

17. Unauthorized alteration of tube 12 

18. Unauthorized mount and tube 13 



ROLLOVER PROTECTIVE STRUCTURES (ROPS) INSPECTION 
AND MAINTENANCE GUIDE 

By Stephen A. Swan, Dennis C. Jones, and Kazimir Niziol 



ABSTRACT 

Bureau of Mines researchers have collected and evaluated rollover pro- 
tective structures (ROPS) for more than 10 yr. ROPS and falling object 
protective structures (FOPS) are required on specified mining machines 
under regulations of the Mine Health and Safety Administration (MSHA). 
Both ROPS and FOPS are required on mining machines used in surface coal 
mines and surface areas of underground coal mines (30 CFR 77.403 and 
77.413a), and ROPS are required on mining machines used in metal and 
nonmetal mining operations (30 CFR 55, 56, and 57.9-88). 

This illustrated manual provides mine safety personnel, MSHA inspec- 
tors, and original-equipment manufacturers with guidelines and a check- 
list for inspecting ROPS being used in the field. The manual discusses 
specific requirements of the MSHA regulations and minimum inspection and 
maintenance checks for ensuring compliance with those regulations. An 
easily reproducible checklist is provided as an aid to the inspection of 
ROPS. 



'Mining engineer, Twin Cities Research Center, Bureau of Mines, Minneapolis, MN. 
2 Mine safety and health specialist, MSHA, Denver, CO. 
^Mining engineer, MSHA, Denver CO. 



INTRODUCTION 



A ROPS is a structure designed to les- 
sen the possibility of a properly belted- 
in operator being injured in the event of 
a rollover. ROPS may also offer some 
protection to the operator if the machine 
is involved in a collision. A FOPS is a 
structure designed to protect a machine 
operator from a falling object or other 
falling material. ROPS and FOPS are of- 
ten found in combination, as when a ROPS 
has a steel plate or a heavy wire mesh as 
part of its roof (fig. 1). ROPS are de- 
signed specifically for each machine mod- 
el and normally have two, four, or six 
supporting structural members. A ROPS 
may be made to fit over the cab (fig. 2), 



or may be made an integral part of the 
cab (figs. 3-4). It is not always appar- 
ent by looking at the outside of a cab 
whether or not it is also a ROPS. An in- 
spection must be made ■inside the eab 
to determine if there are structural 
members. 

In most cases, the machine operator or 
mine owner is not aware that the protec- 
tion capability of a ROPS may have been 
reduced because of a failure to properly 
correct a deficiency. This manual was 
prepared to help remedy this situation. 
It provides a systematic means for iden- 
tifying deficiencies in ROPS so they can 
be corrected. 





FIGURE 1. - Combination ROPS and FOPS. 



FIGURE 2. - ROPS over cab. 




Mm — 




FIGURE 3. - Integral ROPS exterior. 



FIGURE 4. - Integral ROPS interior 



TYPES OF MACHINES REQUIRED TO HAVE ROPS AND SEAT BELTS 



MSHA regulations require that all 
rubber-tired or crawler-mounted self- 
propelled scrapers, loaders, dozers, 
graders, tractors, and powered industrial 
trucks must be provided with ROPS and 
seat belts when used at surface coal 



mines; surface areas of underground coal 
mines; metal and nonmetal open pit mines; 
sand, gravel, and crushed-stone opera- 
tions; and metal and nonmetal underground 
mines. 



ROPS INSPECTION ITEMS 



IDENTIFICATION OR CERTIFICATION LABEL 

A ROPS should have an identification or 
certification label attached to it or a 
certificate on file at the mine from the 
ROPS manufacturer or a registered profes- 
sional engineer with knowledge and 



experience on ROPS design stating that 
ROPS meets the performance standards and 
is appropriate for the machine upon which 
is is installed. The identification 
label or certificate, should be examined 
to ensure that the ROPS meets the applic- 
able MSHA requirements. 



MOUNTING PARTS 

Bolts and Nuts 

Many different grades of bolts and nuts 
may be used to mount ROPS. However, SAE 
grades 5 and 8 are the most common. If 
there is any question concerning the 
grade of bolts and nuts that should be on 
the ROPS, the ROPS manufacturer must be 
consulted. The most common methods of 
marking grades 5 and 8 bolts and nuts are 
shown in figures 5 and 6, respectively. 
As shown in figure 5, bolts may be desig- 
nated by equivalent International Stan- 
dards Organization (ISO) grades. 

In addition to ensuring that bolts and 
nuts of the correct SAE grade are used, 
the following should be checked: 

• Are bolts and nuts missing? 

• Are bolts and nuts loose? 



• Are bolt heads and nuts properly 

seated in complete contact with ROPS 
assembly? 

• Are nuts fully threaded onto bolts? 

• Are bolts and nuts rusted? 

• Are bolts and nuts damaged? 

Rubber Pads and Bushings 

Most ROPS mounts include rubber pads or 
bushings to reduce vibration of the ROPS 
(figs. 7-8). The rubber parts should be 
checked for deterioration, which may be 
caused by various environmental factors. 
The most practical way of determining the 
condition of the rubber pads or bushings 
is to observe the ROPS mounts for noise 
or vibration while the machine is in 
operation. 



Bolt grade 


Bolt head markings 


SAE 5 
(ISO R898, 
class 8.8) 


SAE 


ISO 


Q 


( 






8.8 
or 


) 


•"^ 


8.8 










SAE 8 
(ISO R898, 
class 10.9) 


© 


< 






10.9 
or 


) 


•""*>, 


10.9 











Nut grade 



SAE 5 



SAE 8 



Nut markings 




or 



or 




MM 
MM 



I notch 

at each hex 

corner 




or 



or 





2 notches 
at each hex 
corner 



FIGURE 5. - Bolt head markings. 



FIGURE 6. - Nut markings. 







FIGURE 7. - Rubber pad. 




FIGURE 8. - Rubber bushing. 



OVERALL CHECK FOR VISIBLE DAMAGE 

An overall inspection of the ROPS is 
necessary in order to locate possible 
damage that could reduce the integrity of 
the structure. Examples of such damage 
are rust, corrosion, overall shape dam- 
age, bent members, and cracks in the ROPS 
structure. 

The overall inspection should include 
the following: 

• Inspect the ROPS for any overall 
shape distortion: 

Door may not close to fit properly. 

Entire ROPS may lean to one side. 



Gaps may be present around windows. 

• Inspect individual ROPS structural 

members to see if they are bent. 

• Inspect structural members for visi- 

ble cracks, bulges, kinks, or dents. 

• Inspect ROPS for visible cracks, cor- 

rosion, and rust. 

As noted above, the overall inspection 
includes inspection of the entire ROPS 
structure for visible cracks. Cracks are 
usually indicated by the presence of cor- 
rosion or a rust track on the paint. The 
most critical areas are around the ROPS 
mounts and welded areas of the ROPS 



structure. Cracks can be caused by acci- 
dent, vibration (fatigue), by water 
freezing inside the ROPS tubes, etc. 
(figs. 9-11). Since freezing water in- 
side the ROPS tubing can cause the tubes 
to crack, some ROPS are manufactured with 
drain holes at the bottom of the vertical 
members. 

Visible damage to the ROPS may result 
when a machine is involved in an 
accident — rollover, exposure to intense 
heat, highwall caving, collision, etc. 
In the event of an accident resulting in 
visible damage to the ROPS, the ROPS man- 
ufacturer should be consulted to deter- 
mine if the ROPS can be put back into 
service. Most manufacturers require re- 
placement of the ROPS if it has been 
damaged. 



SEAT BELTS 

Mine regulations for coal and for metal 
and nonmetal mines require a seat belt in 
addition to ROPS on the specified mach- 
ines. Therefore, the following should be 
checked: 

• The belt must not be frayed, and it 

should not be so dirty that its use 
is discouraged (fig. 12). 

• The belt must be attached to the 

anchors, and the anchors must be in 

good condition (fig. 13). 

• The buckle device must work easily, 

and the belt length must be quickly 
and easily adjustable for comfort 
and safety (fig. 14). 




FIGURE 9. - Weld separation (crack). 





FIGURE 10. - Crack in ROPS mount. 




FIGURE 11. - Crack in weldment. 




FIGURE 12. - Frayed and dirty seat belt. 




FIGURE 13. - Seat belt anchors. 



10 




FIGURE 14.= Seat belt buckle. 

CHECK FOR IMPROPER REPAIRS AND/OR 
MODIFICATIONS 

All ROPS manufacturer's void the certi- 
fication if the ROPS has been altered, 
modified, or repaired without their writ- 
ten consent. If the certification is 
voided by the manufacturer, the ROPS no 
longer meets the MSHA requirements. 

The regulations for coal mines state 
that all field welding must be performed 
by welders who are certified by the coal 
mine operator or equipment distributor in 
accordance with the American Welding So- 
ciety Structural Welding Code. 

The metal and nonmetal mine regulations 
state that any alteration, repair, or 
welding on the ROPS or on the ROPS- 
to-vehicle frame mounts shall be perform- 
ed only with prior approval and with in- 
structions from the ROPS manufacturer or 
a registered professional engineer with 
knowledge and experience in ROPS design. 
In addition, the manufacturer or engineer 
is required to decide what qualifications 
the welders performing such alterations 
or repairs must have. 



Welds 

Welds are one of the most critical 
areas in determining the overall struc- 
tural integrity of ROPS. Poor weld ap- 
pearance is the most obvious indication 
of a potential weld defect. The most 
frequent cause of weld defects are care- 
lessness on the part of the welder and 
poor welding techniques such as using the 
incorrect welding rod, welding with the 
improper amount of current, applying an 
inconsistent amount of weld material to 
the damaged area, and improper prepara- 
tion of the damaged area prior to apply- 
ing the weld. 

Welding is a commercial method for 
joining two metals together and preserv- 
ing their individual strength character- 
istics, provided the weld is properly 
applied. However, if improperly applied, 
the welding process may cause metallurg- 
ical changes in the internal structure of 
the weld and/or surrounding metals, 
thereby weakening the respective ROPS 
members. Environmental conditions are 
other critical factors to be considered 
in the welding process. 

Unauthorized Field Modifications 

Some ROPS are equipped with light fix- 
tures, mirrors, handrails, and fire ex- 
tinguisher brackets by the manufacturer. 
Examples of unauthorized field modifica- 
tions made after a ROPS is placed in ser- 
vice include — 

• Welding or bolting accessories to the 

ROPS. 

• Drilling holes in the ROPS. 

• Additional welding to change ROPS 

structure. 

Unauthorized field modifications are 
illustrated in figures 15 through 18. 



11 




FIGURE 15. - Unauthorized spot weld. 



12 





FIGURE 16„ = Unauthorized mount. 



FIGURE 17„ = Unauthorized alteration of tube. 
(Note weld.) 



INSTRUCTIONS FOR USING ROPS INSPECTION AND MAINTENANCE CHECKLIST 



A rule of thumb is to conduct a ROPS 
inspection every 1,000 h of equipment op- 
eration, or sooner if the structure has 
been subjected to any unusual loads which 
could cause damage (i.e., rollover, high- 
wall caving, collision, etc.). 

An easily reproducible copy of the ROPS 
inspection and maintenance checklist, 
which is based on Bureau research find- 
ings, follows the "Summary" section of 
this manual. Using the checklist as a 
guide, the ROPS should be inspected item 



by item. Each inspection item should be 
checked either yes or no. If a check 
does not appear in any of the boxes on 
the checklist, this indicates an unac- 
ceptable condition on the ROPS which must 
be corrected. 

Refer to this manual if any questions 
arise in completing the checklist. Addi- 
tional information pertaining to a spe- 
cific ROPS (or FOPS machine) make or mod- 
el can be obtained from the manufacturer. 



SUMMARY 



It is not uncommon to find the follow- 
ing deficiencies in ROPS, all of which 
affect the service life of a ROPS: 

• Missing, loose, or inadequate mount- 

ing bolts and nuts. 

• Deterioration of rubber vibration in- 

sulators (pads and bushings). 

• Cracks in major structural areas and 

other structural damage. 



• Improper repairs and modifications. 

The checklist on pages 14 and 15 details 
deficiencies in the above-listed cat- 
egories. This checklist, when used as 
instructed in this manual, provides a 
means for the systematic inspection of 
ROPS to ensure maximum protective capa- 
bility and conformance with applicable 
Federal regulations. 



13 




FIGURE 18. - Unauthorized mount an 



(Note welds on tube.) 



14 



ROPS INSPECTION AND MAINTENANCE CHECKLIST 



Date inspected: 
Inspected by: 



Machine type and model number: 
Serial number: 



Mine machine identification number: 
Company and mine name: 



Mine identification number: 



NOTE. — The ROPS may have an identification or certification label, but a satisfac- 
tory substitute is a certificate from the ROPS manufacturer or a registered profes- 
sional engineer stating that the ROPS meets the performance standards and is appro- 
priate for the machine upon which it is installed. The following organizations may 
be referenced on the label or on the professional engineer's certificate: 

SAE - Society of Automotive Engineers 

MSHA - Mine Safety and Health Administration 

OSHA - Occupational Safety and Health Administration 

COE - U.S. Army Corps of Engineers 

BOR - Bureau of Reclamation 

ISO - International Standards Organization 

State of California 

Inspection item Yes No 
— 

1. Identification of ROPS 

a. Does the machine have a ROPS? I I 

b. Is there an identification label on the [ | 

ROPS or a certificate on file at the mine? 

2. Visible damage 

a. Is the frame twisted, bent, or cracked in i — i 

the area of the ROPS mount? 

b. Is the frame and/or ROPS rusted? □ 

c. Is there any overall shape damage to the i — i 

Rops? 

d. Are there any localized bulges, kinks, i — i 

dents, or bent parts in the ROPS? 

e. Are there any hairline or open cracks i — i 

anywhere on the ROPS structure? 

f. Are there any signs of corrosion? I I 



3. Rubber pads and bushings, if any 

a. Is the rubber damaged or missing? I I 

b. Does the ROPS rattle when the machine is 

operated? 



□ 



ROPS INSPECTION AND MAINTENANCE CHECKLIST— Continued 



15 



4. Bolts and nuts 

a. Are there any missing bolts or nuts? 

b. Are bolts the proper grade? 

c. Are nuts the proper grade? 

d. Are the bolts and nuts loose? 

e. Are the bolt heads and nuts property seated 

and in complete contact with ROPS 
assembly? 

f. Are nuts fully threaded onto bolts? 

g. Are the bolt threads stripped? 
h. Are the bolts or nuts rusted? 

i. Are the bolts or nuts bent or deformed? 



Yes 

□ 
□ 



□ 
□ 



No 
□ 

□ 



□ 
□ 
□ 



5. Seat belt 

a. Is the seat belt missing? 

b. Is the belt too dirty to use? 

c. Is the belt frayed? 

d. Is the belt hard to adjust? 

e. Is the buckle hard to work? 

f. Are the anchors loose or damaged? 



□ 
□ 
□ 
□ 
□ 
□ 



6. Modifications and repairs 

a. Are there accessories welded or bolted to 

the ROPS that were not provided by the 
manufacturer? 

b. Are there additional holes drilled in the 

ROPS? 

c. Have any additional welds changed the ROPS 

structure? 



□ 
□ 



<.-U.S. CPO: 1985-503-019/20.019 



INT.-BU.OF MINES.PGH..PA. 27894 

















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